James R. Johnson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James R. Johnson was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2023 - January 22, 2025
SPIDERROCK EXS, LLC
February 18, 2004 - June 23, 2023
GFI SECURITIES LLC
December 21, 2001 - March 1, 2004
TULLETT PREBON FINANCIAL SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/14/2002
Limited Representative-Equity Trader ExamCurrent Firm
SPIDERROCK EXS, LLC
CRD#: 148743 / SEC#: , 8-68062
Contact information
FINRA licenses (23 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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